SM
Steven W. Middleton
CAPITAL PORTFOLIO MANAGEMENT
Timonium, MD 21093
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CRD#: 4367629
SM
Professional summary
Steven Weihe Middleton is a registered financial professional currently at CAPITAL PORTFOLIO MANAGEMENT, INC. located in Timonium, Maryland.
Steven is registered as a RR (Registered Representative) and started their career in finance in 2001. Steven has worked at 1 firm and has passed the SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Steven Weihe Middleton's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 12, 2001 - Present
CAPITAL PORTFOLIO MANAGEMENT, INC.
Office #1: 9515 Deereco Road Ste 1010, Timonium, MD 21093Office #2: 9515 Deereco Road Suite 1010, Timonium, MD 21093RIA
BD
CRD#: 29302
Timonium, MD
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
District of Columbia(10/22/2002)
RR
Maryland(11/12/2001)
Exams
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CP
CAPITAL PORTFOLIO MANAGEMENT, INC.
CAPITAL PORTFOLIO MANAGEMENT, INC. | WALSH & COMPANY
CRD#: 29302 / SEC#: , 8-44225
Maryland
Registered Investment Advisory firm - SEC (8/21/2013 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
9515 Deereco Road Suite 1010, Timonium, MD 21093
Mailing Address
9515 Deereco Road Suite 1010, Timonium, MD 21093
Phone number
(410) 667-4575
Established
Maryland since 08/14/1991
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees
1
FINRA licenses (16 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DYER, PATRICK VINCENT | PRESIDENT/COMMON STOCK SHAREHOLDER/CONTROL PERSON/CHIEF COMPLIANCE OFFICER | 1668143 |
| BATHURST, GERALD LEE | PREFERRED SHAREHOLDER - NON-VOTING | 4765994 |
| BURGSTINER, VIRGINIA L | PREFERRED SHAREHOLDER | |
| FRIES, LOUIS F. | PREFERRED SHAREHOLDER | 5688603 |
| MIDDLETON, STEVEN WEIHE | PREFERRED SHAREHOLDER | 4367629 |
| TAYLOR, LAVENA RUTH | PREFERRED SHAREHOLDER/NON-VOTING | 2579245 |
| BATHURST, ROSEMARY ANNE | PREFERRED SHAREHOLDER - NON-VOTING | 4765983 |
| EISWERT, MARY K | PREFERRED SHAREHOLDER | |
| MIDDLETON, KRISTIN W | PREFERRED SHAREHOLDER - NON VOTING | 4664838 |
Regulatory assets under management
| Total Number of Accounts | 30 |
| AUM (Assets Under Management) | $ 15,800,000 |
Disclosures
| Regulatory Event | 6 |
Red Flags
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